Sean M. Case
Professional summary
Sean Michael Case, who also goes by Sean M Case, is a registered financial professional currently at PHX FINANCIAL, INC. located in Hauppauge, New York.
Sean is registered as a RR (Registered Representative) and started their career in finance in 1998. Sean has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Michael Case's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 4, 2014 - Present
PHX FINANCIAL, INC.
Office #1: 150 Motor Parkway Suite 309, Hauppauge, NY 11788July 30, 2010 - October 3, 2014
J.D. NICHOLAS & ASSOCIATES, INC.
April 27, 2010 - August 6, 2010
EKN FINANCIAL SERVICES INC.
June 16, 2005 - May 19, 2010
ITRADEDIRECT.COM CORP
April 22, 2002 - June 15, 2005
GUNNALLEN FINANCIAL, INC
October 20, 1998 - May 15, 2002
SEABOARD SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/25/2019)
(7/25/2019)
(9/4/2014)
(3/6/2025)
(3/19/2018)
(9/4/2014)
(3/21/2018)
(7/9/2015)
(3/6/2024)
(9/17/2024)
(3/8/2024)
(12/8/2015)
(7/8/2015)
(8/29/2023)
(3/6/2024)
(9/4/2014)
(6/30/2016)
(7/8/2015)
(5/12/2020)
(9/17/2024)
(9/4/2014)
(3/26/2020)
(9/4/2014)
(7/14/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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